Securities / Derivatives

Securities / Derivatives

Taiwan to Ease Limit on Investment in Mainland Financial Firms

By Editors | 30/01/2022

The FSC proposes to allow Taiwanese securities and futures companies to own more than 50 percent of Mainland institutions.

Market Infrastructure

SHFE to Introduce Commodity Swaps with Central Settlement

By Editors | 30/01/2022

Shanghai Futures Exchange has issued new rules setting out the requirements for firms to participate as primary dealers, secondary dealers and settlement institutions.

Enforcement

SFC Fines Citigroup Asia Unit for Client Facilitation Misconduct

By Editors | 28/01/2022

Deceptive practices were deployed at the expense of clients’ best interest and to the detriment of market integrity, said SFC chief Ashley Alder.

Securities / Derivatives

Taiwan FSC Finalises Rules on Listco Related Party Transactions

By Darien Choong | 28/01/2022

The rules seek to strengthen the management of related party transactions and improve the quality of opinions issued by external experts.

Securities / Derivatives

KRX Chief Vows to Improve Investor Protection in Stock Market

By Sanday Chongo Kabange | 28/01/2022

Sohn Byung-doo suggests lockup periods be imposed on executives following an IPO, and that companies be required to consider retail investors when processing spinoff IPOs.

Market Infrastructure

Sri Lanka Commences Work to Establish CCP for Equities

By Duruthu E Chandrasekera | 27/01/2022

SEC chairman Viraj Dayaratne said “steady progress” is being made and the CCP is expected to launch by year end as planned.

Market Infrastructure

ASIC, SFC Offer Guidance on FX Practices Following Joint Review

By Manesh Samtani | 27/01/2022

Financial groups should promote a strong risk culture, put in place appropriate supervision and surveillance, and ensure fairness and transparency in trade execution.

ESG / Sustainability

SEBI Proposes Regulatory Framework for ESG Rating Providers

By Sanday Chongo Kabange | 27/01/2022

SEBI says reliance on unregulated ESG rating providers poses risks to investors, transparency and the efficiency of securities markets.

Big Picture

ESG Bond Issuance to Quadruple by 2025

By ESG Investor | 27/01/2022

New Pictet-IIF report says inconsistent disclosures are limiting growth, with ‘climate-aligned’ bonds meeting the supply shortfall.